19-Hour Program

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Overview

Why you should attend

PLI’s Annual Institute on Securities Regulation has become the most highly anticipated annual review of the current state of securities, financial regulation and corporate law and practice.  We are pleased to co-chair the 45th edition of this important event, and to present you with this year’s agenda.  As always, we strive to bring you the most up-to-date information in response to the many changes of the past year.  As we continue to see significant changes in the securities laws field - as a result of continued implementation of the Dodd-Frank Act, and other developments in capital formation, including changes to the IPO and private placement process brought about the JOBS Act, and continued aggressive enforcement efforts - the Institute will provide you with an important look at the current issues and provide you with the information you need today.

We have structured the Institute panels to offer you the most comprehensive and practice-oriented sessions possible, focusing on the most pressing issues of the day in the most critical areas.  Our goal is to assist you in making sense out of the current business and legal climate and regulatory restructuring and to provide best
practices that you can use in the service of your clients or company.

At the conclusion of each panel you will receive a list of practical take-away points that you can bring back to the office and use in guiding your clients in these challenging times.

As always, the Institute’s stellar faculty, comprised of the very best from private practice, investment banking, accounting firms, corporations, and government oversight agencies, will put the developments of the past year into proper perspective and prepare you for 2014 and beyond.  Each panel will share their unique insights and experiences with you and offer practical strategies and solutions in the form of best practices, which will help you perform successfully in today’s continually evolving financial environment.

We invite you to join us in New York City for PLI's 45th Annual Institute on Securities Regulation.  If you can’t attend in person, PLI will live webcast the Institute. Web attendees may choose between streaming audio or video and have access to the downloadable, electronic version of the corresponding course handbook.

If you’d like to broadcast the Institute directly to your firm for group viewing, send an e-mail to the Groupcasts Department at groupcasts@pli.edu to make the arrangements.

We have no doubt that the 45th Annual Institute on Securities Regulation will be the most important and comprehensive securities conference you can attend this year.  We are pleased to join PLI in providing you with the best and most current content and strategies for making your practice everything it can be in the service of your clients. We look forward to seeing you in November.

What you will learn

Day One

  • How’s Life in the Capital Markets?
  • What’s New in Rulemaking?
  • Social Media – Not Just Tweeting and Liking, But Understanding What’s Allowed and What Securities Lawyers Need to Know
  • Facing Your Corporate Governance Challenges: Navigating Activism and Engagement

Day Two

  • The General Counsel’s Perspective: Living in the Real World
  • Accounting and Auditing: Not Extra Credit, Mandatory for Lawyers
  • Q&A Picnic Lunch with the SEC Staff
  • The Latest Developments with Investment Companies, Private Funds and Investment Advisers
  • Tackling Disclosure and Compensation Requirements

Day Three

  • Government Enforcement: The Top Cops’ Programs and Priorities
  • Defending Against the Government
  • Private Securities Litigation
  • Developments in Mergers and Acquisitions
  • Not Your Father’s Ethics Environment: Is There Increased Scrutiny of Lawyers?  What is the Truth and What Are the Consequences?

Credit Details